The basis of an audit-ready business
BasisCode offers the industry’s broadest integrated technology platform that improves compliance management for asset managers, investment advisors, broker/dealers, insurance companies and other financial services providers.
Centralized and intuitive, our software spans functionality, from testing and risk assessment to personal trading and certifications — all within a unified solution—enhancing controls and decision-making to safeguard your firm and clients. Click here to learn more about our compliance management software.
- Compliance Portal that gives authorized users instant online access
- Seamlessly integrated risk assessment and testing
- Calendar-based reminders, checklists and alerts
- Document management and archival with version control
- User-defined query and search capabilities
- Complete audit trail of performed tests
- Rich analytics and robust reporting